Willem Janssen
EU Public Procurement Law & Self-organisation
A Nexus of Tensions & Reconciliations
Paperback Engels 2018 1e druk 9789462368637Verwachte levertijd ongeveer 6 werkdagen
Samenvatting
The nexus between EU public procurement law and self-organisation of the Member States and their public authorities in the European Union is often misunderstood. This book is the first comprehensive analysis of this relationship and aims to provide a greater understanding of this topic. It creates food for thought to improve the law.
This book offers in-depth studies on how EU public procurement law interacts with the most noteworthy aspects of self-organisation on the national level. The allocation of responsibilities and competences, self-supply, institutionalised cooperation, non-institutionalised cooperation, cooperation based on exclusive rights and the make-or-buy decision are scrutinised. Based on qualitative and comparative research, it provides a detailed discussion of these exclusions and exemptions from EU public procurement law in light of the 2014 Directives on public procurement, the case-law of the Court of Justice of the European Union and the Dutch Courts, and other relevant sources.
Timely and engaging, this book will appeal to academic scholars, legislators and practitioners interested in gaining a deeper understanding of the scope of EU public procurement law. Exploring the discretionary power for public authorities to organize themselves, it will also inform these authorities when they aim to provide services with their own resources or in cooperation with other authorities. Similarly, it informs third parties that want to uphold the obligations of the law before the courts.
Specificaties
ISBN13:9789462368637
Taal:Engels
Bindwijze:paperback
Aantal pagina's:343
Uitgever:Eleven International Publishing
Druk:1
Verschijningsdatum:20-6-2018
Hoofdrubriek:Juridisch
ISSN:
Jongbloed:Europees recht
Lezersrecensies
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Inhoudsopgave
List of abbreviations xi
CHAPTER 1
INTRODUCTION 1
1. The nexus: EU public procurement law & self-organisation 1
2. Methodology & research question 5
2.1. General methodology and main research question 5
2.1.1. Tensions & reconciliations 5
2.2. Three subsequent analyses 8
2.2.1. Allocation of responsibilities and competences 8
2.2.2. Make-or-buy decision 10
2.2.3. Service provision by public authorities 11
2.3. Specific methodology 13
3. Sources 14
4. Terminology 15
5. Structure 17
CHAPTER 2
UNDERSTANDING THE NEXUS: EU PUBLIC PROCUREMENT LAW 21
1. Achieving societal value through public procurement 21
2. Regulating public procurement in the EU 24
2.1. Free movement in the context of the internal market 24
2.2. A new batch of Directives on public procurement in 2014 25
2.3. The EU Commission’s efforts in soft law 28
2.4. The CJEU’s case law to provide interpretative clarity 28
2.5. Creating a level playing field through legal principles 30
3. The scope of EU public procurement law 35
3.1. Ratio personae: the concept of contracting authority 35
3.1.1. The traditional authorities: the State, regional or local authorities 37
3.1.2. Understanding the criteria of ‘bodies governed by public law’ 39
3.1.2.1. Established for the specific purpose of meeting needs in the general interest, not having an industrial or commercial character 41
3.1.2.2. Legal personality 47
3.1.2.3. Close dependency 48
3.1.2.3.1. Financial dependency 48
3.1.2.3.2. Management supervisory dependency 50
3.1.2.3.3. Composition of the administrative, managerial or administrative board 52
3.2. Ratio materiae: the concepts of public contract and concession contract 53
3.2.1. Understanding the criteria of a public contract 54
3.2.1.1. An agreement between one or more economic operators and one or more contracting authorities 56
3.2.1.1.1. Bilateralism 57
3.2.1.1.2. Concordance of wills 59
3.2.1.1.3. The new criterion of selectivity 60
3.2.1.1.4. Duty to perform and enforceability 63
3.2.1.2. A relationship for pecuniary interest 65
3.2.2. Understanding the criteria of a concession contract 67
3.2.2.1. The right to perform and financial payment 70
3.2.2.2. Transferring risk to the concessionaire 70
4. Exemptions from the scope of EU public procurement law 73
4.1. The need for strict interpretation of exemptions 74
4.2. No general exemption for the public sphere 75
4.3. The burden of proof rests on those who invoke the exemption 75
5. Concluding remarks 76
CHAPTER 3
UNDERSTANDING THE NEXUS: SELF-ORGANISATION OF THE EU MEMBER STATES 79
1. Competences: self-organisation vs. achieving an internal market for public procurement 79
2. Excluding the allocation of responsibilities and competences from EU public procurement law 82
3. The influence of the European Charter of Local Self-Government on self-organisation in the EU 84
4. Exempting institutionalised cooperation from EU public procurement law 85
5. Excluding self-supply and the make-or-buy decision from EU public procurement law 90
6. Exempting non-institutionalised cooperation from EU public procurement law 92
7. Article 4(2) TEU: self-organisation elevated to primary law 95
7.1. The recognition of regional and local self-government 96
7.2. The interpretation of the right to self-organisation 97
7.3. Confirmation of the interpretation of Article 4(2) TEU in the CJEU’s case law 99
8. Possibilities for self-organisation in Directive 2014/24/EU 101
9. Concluding remarks 107
CHAPTER 4
ALLOCATION OF RESPONSIBILITIES AND COMPETENCES & EU PUBLIC PROCUREMENT LAW 109
1. The allocation of responsibilities and competences 109
2. Inclusion in Directive 2014/24/EU and the CJEU’s interpretation 111
3. The criteria of an allocation of responsibilities and competences 112
3.1. The object of an allocation 112
3.2. The method of an allocation 114
3.3. The need for a genuine allocation 116
3.3.1. Tension & reconciliation: operational autonomy or a contractual relationship? 118
3.3.2. Tension & reconciliation: financial autonomy or a contractual relationship? 119
4. Concluding remarks 122
CHAPTER 5
SELF-SUPPLY & EU PUBLIC PROCUREMENT LAW 123
1. Self-supply’s ratio materiae 123
2. Tension & reconciliation: self-supply’s ratio personae 124
2.1. The (un)dividable State: Is the State one or multiple contracting authorities? 125
2.2. The misunderstanding of a grammatical interpretation of the State 126
2.2.1. The State ≠ dividable 126
2.2.2. The State = dividable 127
2.3. The merits of an interpretation of the State based on Beentjes and Teckal 129
2.3.1. A legal distinction = a legal personality? 131
2.3.2. Reconciliation = a functional interpretation of the State 133
3. Concluding remarks 136
CHAPTER 6
INSTITUTIONALISED COOPERATION & EU PUBLIC PROCUREMENT LAW 137
1. The institutionalised exemption 137
2. Three preliminary comments 138
3. Different types of institutionalised cooperation 142
4. Cooperation between a single contracting authority and a formally independent entity 144
4.1. Formal independence 144
4.1.1. Tension & reconciliation: Must a formally independent entity be a contracting authority? 146
4.1.2. Tension & reconciliation: A preference for legal personalities under public law? 148
4.2. Operational dependence 149
4.2.1. First criterion: individual control 149
4.2.2. Second criterion: essential part of the activities 154
4.2.2.1. Quantitative or qualitative assessment? 155
4.2.2.2. Tension & reconciliation: the broad codification of the activities criterion 156
4.3. The individual control and activities criterion before the Dutch Courts 160
4.3.1. Consistent application of the CJEU’s case law in Connexion/RET and Wigo4it 160
5. Cooperation between multiple contracting authorities and a formally independent entity 162
5.1. Accommodating self-organisation further: joint-control criterion 163
5.2. Activities criterion 169
5.3. Tension & reconciliation: the application of the joint control and activities criteria before the Dutch Courts 169
5.3.1. Tension & reconciliation in AVR/Westland: an additional criterion? 170
5.3.2. Improvement of the application of the CJEU’s criteria in Fryslân Miljeu 172
6. Cooperation with a direct private participation 174
6.1. Accommodating self-organisation: direct private participation 174
6.2. Direct private participation in the formally independent entity:
the ‘per se ban’ of the CJEU in Stadt Halle 175
6.3. Direct private participation and social solidarity: more room in the future? 179
6.4. Future direct private participation 180
6.5. Indirect private participation in the controlling contracting authority 182
6.6. Tension & reconciliation: the EU legislature accepts direct private participation required by law 182
6.6.1. In line with the ‘objectives’ argument… 184
6.6.2. …but the competition argument of Stadt Halle: problematic? 186
6.6.3. Required by law: re-opening the floodgates? 189
6.7. The absence of direct private participation: a means to prove control? 191
7. Cooperation in a holding structure 192
7.1. The CJEU: control dismissed in a holding structure 192
7.2. EU legislature accommodates self-organisation further: holding-structures an accepted expansion 193
8. Cooperation in a single contracting authority’s chain of authority 194
8.1. EU legislature accommodates self-organisation for reversed and horizontal awards 194
8.2. Tension & reconciliation: limitations of these exemptions and direct private participation 195
9. Concluding remarks 199
CHAPTER 7
NON-INSTITUTIONALISED COOPERATION &
EU PUBLIC PROCUREMENT LAW 201
1. The non-institutionalised exemption 201
2. Three preliminary comments 203
3. The criteria of the non-institutionalised exemption 204
3.1. The organization of the cooperation 205
3.1.1. The cooperative partners 205
3.1.2. The type of cooperation 206
3.1.3. The substance and objective of the cooperation 208
3.2. The considerations governing the cooperation 213
3.2.1. Tension & reconciliation: the financial conditions of the cooperation 213
3.2.2. Tension & reconciliation: direct private participation 214
3.3. The commercial freedom of the cooperation 217
3.3.1. Tension & reconciliation: the considerations governing the cooperation 218
4. Concluding remarks 220
CHAPTER 8
COOPERATION BASED ON AN EXCLUSIVE RIGHT & EU PUBLIC PROCUREMENT LAW 221
1. The exclusive right exemption 221
2. The criteria of the exclusive right exemption 222
2.1. The need for a public service contract 223
2.1.1. Tension & reconciliation: no justification for this limitation 223
2.2. The recipient contracting authority 224
2.2.1. Tension & reconciliation: direct private participation in a contracting authority 224
2.3. The definition of an exclusive right 225
2.4. The exclusive right must be pursuant to laws, regulations or published administrative provisions 227
2.5. The crux of this exemption: ‘which is compatible with the Treaty’ 229
2.5.1. First requirement – the exclusive right itself as an obstacle to trade 230
2.5.2. Tension & reconciliation: the forgotten second requirement – the selection of the exclusive provider 233
2.5.2.1. The CJEU accommodates self-organisation through the Betfair exemptions 235
2.5.2.1.1. Public or private operator 236
2.5.2.1.2. Direct supervision and strict control 237
2.5.2.1.3. ‘Strict control by public authorities’ before the Dutch Courts 238
2.5.2.1.4. Liga Portuguesa as a benchmark 239
2.5.2.2. Cross-fertilisation between Betfair and Teckal 242
2.5.2.2.1. A mere inspirational role for Teckal 244
2.5.3. Tension & reconciliation: the Dutch Hoge Raad’s overlapping application of Teckal in AVR/Westland and Fryslân Miljeu 245
3. Tension & reconciliation: the absent need for the exclusive right exemption 248
4. Concluding remarks 249
CHAPTER 9
THE MAKE-OR-BUY DECISION & EU PUBLIC PROCUREMENT LAW 251
1. Tension: the absence of regulation and legal remedies 251
2. Searching for reconciliation: a comparison with the US 256
2.1. Defining US competitive sourcing 257
2.1.1. The development of US competitive sourcing’s objectives 258
2.2. Aiming for transparency: the FAIR Act inventory process 263
2.2.1. Administrative challenge and appeal 265
2.2.2. Inherently governmental vs. commercial 267
2.2.2.1. Criteria in law and policy 267
2.2.2.2. Guidance by the Courts and GAO 272
2.3. OMB Circular A-76: public-private competitions 276
2.3.1. Competitively comparing public and private performance – procedures 276
2.3.2. Possibilities for protest and appeal 284
2.3.2.1. Administrative review 284
2.3.2.2. Appeal before GAO and the Courts 284
3. Concluding remarks 289
CHAPTER 10
TOWARDS RECONCILING CURRENT & FUTURE TENSIONS 293
1. Understanding the two sides of the nexus 294
2. Towards reconciliation in the public procurement context 297
2.1. Reconciling tensions related to uncertainty 298
2.2. Reconciling tensions related to inconsistency 300
2.3. Reconciling tensions related to incoherency 303
3. Recommendations 304
3.1. EU and national legislatures 305
3.2. Courts and contracting authorities 305
3.3. EU Commission 306
List of references 307
Curriculum Vitae 343
CHAPTER 1
INTRODUCTION 1
1. The nexus: EU public procurement law & self-organisation 1
2. Methodology & research question 5
2.1. General methodology and main research question 5
2.1.1. Tensions & reconciliations 5
2.2. Three subsequent analyses 8
2.2.1. Allocation of responsibilities and competences 8
2.2.2. Make-or-buy decision 10
2.2.3. Service provision by public authorities 11
2.3. Specific methodology 13
3. Sources 14
4. Terminology 15
5. Structure 17
CHAPTER 2
UNDERSTANDING THE NEXUS: EU PUBLIC PROCUREMENT LAW 21
1. Achieving societal value through public procurement 21
2. Regulating public procurement in the EU 24
2.1. Free movement in the context of the internal market 24
2.2. A new batch of Directives on public procurement in 2014 25
2.3. The EU Commission’s efforts in soft law 28
2.4. The CJEU’s case law to provide interpretative clarity 28
2.5. Creating a level playing field through legal principles 30
3. The scope of EU public procurement law 35
3.1. Ratio personae: the concept of contracting authority 35
3.1.1. The traditional authorities: the State, regional or local authorities 37
3.1.2. Understanding the criteria of ‘bodies governed by public law’ 39
3.1.2.1. Established for the specific purpose of meeting needs in the general interest, not having an industrial or commercial character 41
3.1.2.2. Legal personality 47
3.1.2.3. Close dependency 48
3.1.2.3.1. Financial dependency 48
3.1.2.3.2. Management supervisory dependency 50
3.1.2.3.3. Composition of the administrative, managerial or administrative board 52
3.2. Ratio materiae: the concepts of public contract and concession contract 53
3.2.1. Understanding the criteria of a public contract 54
3.2.1.1. An agreement between one or more economic operators and one or more contracting authorities 56
3.2.1.1.1. Bilateralism 57
3.2.1.1.2. Concordance of wills 59
3.2.1.1.3. The new criterion of selectivity 60
3.2.1.1.4. Duty to perform and enforceability 63
3.2.1.2. A relationship for pecuniary interest 65
3.2.2. Understanding the criteria of a concession contract 67
3.2.2.1. The right to perform and financial payment 70
3.2.2.2. Transferring risk to the concessionaire 70
4. Exemptions from the scope of EU public procurement law 73
4.1. The need for strict interpretation of exemptions 74
4.2. No general exemption for the public sphere 75
4.3. The burden of proof rests on those who invoke the exemption 75
5. Concluding remarks 76
CHAPTER 3
UNDERSTANDING THE NEXUS: SELF-ORGANISATION OF THE EU MEMBER STATES 79
1. Competences: self-organisation vs. achieving an internal market for public procurement 79
2. Excluding the allocation of responsibilities and competences from EU public procurement law 82
3. The influence of the European Charter of Local Self-Government on self-organisation in the EU 84
4. Exempting institutionalised cooperation from EU public procurement law 85
5. Excluding self-supply and the make-or-buy decision from EU public procurement law 90
6. Exempting non-institutionalised cooperation from EU public procurement law 92
7. Article 4(2) TEU: self-organisation elevated to primary law 95
7.1. The recognition of regional and local self-government 96
7.2. The interpretation of the right to self-organisation 97
7.3. Confirmation of the interpretation of Article 4(2) TEU in the CJEU’s case law 99
8. Possibilities for self-organisation in Directive 2014/24/EU 101
9. Concluding remarks 107
CHAPTER 4
ALLOCATION OF RESPONSIBILITIES AND COMPETENCES & EU PUBLIC PROCUREMENT LAW 109
1. The allocation of responsibilities and competences 109
2. Inclusion in Directive 2014/24/EU and the CJEU’s interpretation 111
3. The criteria of an allocation of responsibilities and competences 112
3.1. The object of an allocation 112
3.2. The method of an allocation 114
3.3. The need for a genuine allocation 116
3.3.1. Tension & reconciliation: operational autonomy or a contractual relationship? 118
3.3.2. Tension & reconciliation: financial autonomy or a contractual relationship? 119
4. Concluding remarks 122
CHAPTER 5
SELF-SUPPLY & EU PUBLIC PROCUREMENT LAW 123
1. Self-supply’s ratio materiae 123
2. Tension & reconciliation: self-supply’s ratio personae 124
2.1. The (un)dividable State: Is the State one or multiple contracting authorities? 125
2.2. The misunderstanding of a grammatical interpretation of the State 126
2.2.1. The State ≠ dividable 126
2.2.2. The State = dividable 127
2.3. The merits of an interpretation of the State based on Beentjes and Teckal 129
2.3.1. A legal distinction = a legal personality? 131
2.3.2. Reconciliation = a functional interpretation of the State 133
3. Concluding remarks 136
CHAPTER 6
INSTITUTIONALISED COOPERATION & EU PUBLIC PROCUREMENT LAW 137
1. The institutionalised exemption 137
2. Three preliminary comments 138
3. Different types of institutionalised cooperation 142
4. Cooperation between a single contracting authority and a formally independent entity 144
4.1. Formal independence 144
4.1.1. Tension & reconciliation: Must a formally independent entity be a contracting authority? 146
4.1.2. Tension & reconciliation: A preference for legal personalities under public law? 148
4.2. Operational dependence 149
4.2.1. First criterion: individual control 149
4.2.2. Second criterion: essential part of the activities 154
4.2.2.1. Quantitative or qualitative assessment? 155
4.2.2.2. Tension & reconciliation: the broad codification of the activities criterion 156
4.3. The individual control and activities criterion before the Dutch Courts 160
4.3.1. Consistent application of the CJEU’s case law in Connexion/RET and Wigo4it 160
5. Cooperation between multiple contracting authorities and a formally independent entity 162
5.1. Accommodating self-organisation further: joint-control criterion 163
5.2. Activities criterion 169
5.3. Tension & reconciliation: the application of the joint control and activities criteria before the Dutch Courts 169
5.3.1. Tension & reconciliation in AVR/Westland: an additional criterion? 170
5.3.2. Improvement of the application of the CJEU’s criteria in Fryslân Miljeu 172
6. Cooperation with a direct private participation 174
6.1. Accommodating self-organisation: direct private participation 174
6.2. Direct private participation in the formally independent entity:
the ‘per se ban’ of the CJEU in Stadt Halle 175
6.3. Direct private participation and social solidarity: more room in the future? 179
6.4. Future direct private participation 180
6.5. Indirect private participation in the controlling contracting authority 182
6.6. Tension & reconciliation: the EU legislature accepts direct private participation required by law 182
6.6.1. In line with the ‘objectives’ argument… 184
6.6.2. …but the competition argument of Stadt Halle: problematic? 186
6.6.3. Required by law: re-opening the floodgates? 189
6.7. The absence of direct private participation: a means to prove control? 191
7. Cooperation in a holding structure 192
7.1. The CJEU: control dismissed in a holding structure 192
7.2. EU legislature accommodates self-organisation further: holding-structures an accepted expansion 193
8. Cooperation in a single contracting authority’s chain of authority 194
8.1. EU legislature accommodates self-organisation for reversed and horizontal awards 194
8.2. Tension & reconciliation: limitations of these exemptions and direct private participation 195
9. Concluding remarks 199
CHAPTER 7
NON-INSTITUTIONALISED COOPERATION &
EU PUBLIC PROCUREMENT LAW 201
1. The non-institutionalised exemption 201
2. Three preliminary comments 203
3. The criteria of the non-institutionalised exemption 204
3.1. The organization of the cooperation 205
3.1.1. The cooperative partners 205
3.1.2. The type of cooperation 206
3.1.3. The substance and objective of the cooperation 208
3.2. The considerations governing the cooperation 213
3.2.1. Tension & reconciliation: the financial conditions of the cooperation 213
3.2.2. Tension & reconciliation: direct private participation 214
3.3. The commercial freedom of the cooperation 217
3.3.1. Tension & reconciliation: the considerations governing the cooperation 218
4. Concluding remarks 220
CHAPTER 8
COOPERATION BASED ON AN EXCLUSIVE RIGHT & EU PUBLIC PROCUREMENT LAW 221
1. The exclusive right exemption 221
2. The criteria of the exclusive right exemption 222
2.1. The need for a public service contract 223
2.1.1. Tension & reconciliation: no justification for this limitation 223
2.2. The recipient contracting authority 224
2.2.1. Tension & reconciliation: direct private participation in a contracting authority 224
2.3. The definition of an exclusive right 225
2.4. The exclusive right must be pursuant to laws, regulations or published administrative provisions 227
2.5. The crux of this exemption: ‘which is compatible with the Treaty’ 229
2.5.1. First requirement – the exclusive right itself as an obstacle to trade 230
2.5.2. Tension & reconciliation: the forgotten second requirement – the selection of the exclusive provider 233
2.5.2.1. The CJEU accommodates self-organisation through the Betfair exemptions 235
2.5.2.1.1. Public or private operator 236
2.5.2.1.2. Direct supervision and strict control 237
2.5.2.1.3. ‘Strict control by public authorities’ before the Dutch Courts 238
2.5.2.1.4. Liga Portuguesa as a benchmark 239
2.5.2.2. Cross-fertilisation between Betfair and Teckal 242
2.5.2.2.1. A mere inspirational role for Teckal 244
2.5.3. Tension & reconciliation: the Dutch Hoge Raad’s overlapping application of Teckal in AVR/Westland and Fryslân Miljeu 245
3. Tension & reconciliation: the absent need for the exclusive right exemption 248
4. Concluding remarks 249
CHAPTER 9
THE MAKE-OR-BUY DECISION & EU PUBLIC PROCUREMENT LAW 251
1. Tension: the absence of regulation and legal remedies 251
2. Searching for reconciliation: a comparison with the US 256
2.1. Defining US competitive sourcing 257
2.1.1. The development of US competitive sourcing’s objectives 258
2.2. Aiming for transparency: the FAIR Act inventory process 263
2.2.1. Administrative challenge and appeal 265
2.2.2. Inherently governmental vs. commercial 267
2.2.2.1. Criteria in law and policy 267
2.2.2.2. Guidance by the Courts and GAO 272
2.3. OMB Circular A-76: public-private competitions 276
2.3.1. Competitively comparing public and private performance – procedures 276
2.3.2. Possibilities for protest and appeal 284
2.3.2.1. Administrative review 284
2.3.2.2. Appeal before GAO and the Courts 284
3. Concluding remarks 289
CHAPTER 10
TOWARDS RECONCILING CURRENT & FUTURE TENSIONS 293
1. Understanding the two sides of the nexus 294
2. Towards reconciliation in the public procurement context 297
2.1. Reconciling tensions related to uncertainty 298
2.2. Reconciling tensions related to inconsistency 300
2.3. Reconciling tensions related to incoherency 303
3. Recommendations 304
3.1. EU and national legislatures 305
3.2. Courts and contracting authorities 305
3.3. EU Commission 306
List of references 307
Curriculum Vitae 343
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